Company ProfileMorgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.Department ProfileProfessionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.Primary ResponsibilitiesProactively lead and execute risk-based compliance testing and forensic testing to review and assess the effectiveness of the firm's policies and procedures in compliance with Rules 38a-1 and 206(4)-7, including recommending corrective action plans for gaps identified from testing.Develop written reports describing the tests conducted, results and corrective action plans.Coordinate with Investment Management testing personnel globally to track the progress of the test plan for reporting to the CCO, senior management and registered mutual funds' Board.Track status of corrective action plans agreed upon with the businessRemain current on industry rules, regulations and best practices to make recommendations to the testing program.Develop and maintain effective working relationships with the business units as well as internally within the Legal and Compliance Department.Manage and supervise a team of compliance testers on the execution of the annual test plan as well as the identification of controls and issues.Skills requiredBA/BS required with a concentration in Accounting or Finance a plus.2+ years' experience in similar role in investment management.Experience working with medium to large sized investment management firms with diverse business lines is preferred.Testing, or auditing experience a plus.Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and applicable securities laws, FINRA and Department of Labor's ERISA regulations.Strong analytical, organizational and problem-solving skills.Ability to prioritize and work effectively on multiple reviews with different individuals at the same time.Ability to work independently, as well, as in a team.Ability to work with staff of all levels across departments.Must have excellent written and oral communication skills.High degree of organization and attention to detail.Proficiency with Microsoft Word, Excel, PowerPoint, Adobe, SharePoint, Bloomberg, and ability to quickly learn automated systems, such as trade order management systems, portfolio accounting systems, pre/post trade surveillance systems and web applications.Expected base pay rates for the role will be between 85000 and 135000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).
